Human Rights in the European Union


William Ridgway


Stanford University


[]12/6/02



Introduction

The development of a human rights policy in the EU has been a long and often undocumented journey.  The sectoral approach of the Paris Treaty establishing the European Coal and Steel Community (ECSC) in 1951 had an economic and functional intention, lacking a declaration of fundamental rights, as seen in national constitutions.  It was not until the 2000 Nice Summit that the European Union first established a written charter, the EU Charter of Fundamental Rights, explicitly stating and guaranteeing human rights in the European Union.  Documented EU human rights policy before 2000 can be seen primarily in two ways:

1.      Internally, through case-law from the European Court of Justice (ECJ)

2.      Externally, through enlargement and trade/development policy

The Charter was an attempt to formally consolidate and solidify not only the EU’s internal and external human rights policies, but also material from a wide array of other human rights initiatives, such as common institutional traditions (from national constitutions), various awareness conventions, and international activist groups and NGOs.




Overview
The objective of this paper is to establish an effective analysis of the European Union’s human rights policy.  After establishing the background of human rights policy within the EU, the application of Article 23 of the EU Charter of Fundamental Rights through internal case-law, trade policies, and enlargement is illustrated using historical case-studies.  The application portion of this paper will examine a court case from the French national government, the EU’s trade policy with the Middle East, and the issues surrounding the accession of Turkey into the EU.  After examining these three cases, the human rights issues in the Balkans will be discussed to elucidate the shortcomings of EU policy and the initiatives the EU is enacting to correct this limitation.  Based on analysis from these four cases, conclusions regarding the effectiveness of human rights policy will be discussed.

 

Background of EU Human Rights Policy


European Court of Justice
The legitimacy of the ECJ to uphold EU legislation is a necessary component of effective human rights policy.  The history of its increase in power is worth noting.  Throughout the 1960s and 1970s, the ECJ’s location in Luxembourg, far from the political fray in Brussels and Strasburg, prevented it from becoming a strong body of the EU.  Yet, throughout that time the court methodically built case-law that would lead to its surge in influence in the 1980s.  The two most significant developments of the court during this time period were direct effect and supremacy.  These twin pillars clarified the relationship between the national and EU legal orders. 

            The landmark decision involving direct effect occurred in 1963 in a case called Van Gend en Loos.  In the case, a Dutch transport firm brought a complaint against Dutch customs for increasing the duty on a product imported from Germany.  The firm argued that the Dutch authorities had breached a clause in the original EU treaty, which prohibited member states from introducing new duties in the common market.  The Court agreed with the firm and declared that any “unconditionally worded treaty provision being self sufficient and legally complete” did not require further intervention at the national level and applied directly to individuals.

            The case Costa v. ENEL in 1964 gave the Court the chance to establish the supremacy of EU law.  In the decision, the Court stated that “every national court must apply Community law in its entirety and must accordingly set aside any provisions of national law which may conflict with it.”  The supremacy of the ECJ was established and increased the power of the Court immensely.  Both of these developments were imperative for the influential position the Court has taken in human rights issues.   




ECJ/ECHR human rights case-law

In 1948, the United Nations’ “Declaration of Human Rights” laid the framework for the human rights initiatives for the following fifty years.  Its aim for “all human rights for all” served as a cornerstone for global public awareness of basic rights.  Though a step in the right direction, much was still needed in order to see rights realized and protected.  With an objective of “collective enforcement” of the rights stated in the UN declaration, the Council of Europe held the “Convention for the Protection of Human Rights and Fundamental Freedoms” in 1950.  Although the complex system of enforcement established at this convention proved insufficient, the stated human rights principles and eventual success of the Convention’s European Court of Human Rights (ECHR) greatly influenced the writers of the Fundamental Charter in Nice fifty years later. 

An important distinction is that the European Convention (ECHR) is a text from the Council of Europe, which is made up of over 40 European countries, including Russia. The EU Charter of Fundamental Rights, however, is a text from the European Union, which currently has 15 Member States. Also, the scope of the protection provided by these two texts is different. The Convention of the Council of Europe relates solely to civil and political rights, while the Charter of the European Union covers additional aspects, such as the right to good administration, workers' social rights, and bioethics. In addition, the Charter covers those political rights of Union citizens that, by definition, cannot be included in the Convention of the Council of Europe. 

Working alongside the Council’s ECHR, the ECJ (established in the EC Treaty in 1957) produced a system of guarantees of fundamental rights.  The combined case-law of these two international courts established written rights for Europeans and later helped form the Nice Charter.  In 1997, the Treaty of Amsterdam revised the Treaty of the European Union (TEU), binding the EU to “respect fundamental rights, as guaranteed by the Convention for the Protection of Human Rights and Fundamental Freedoms…and as they result from constitutional traditions common to Member States.”  The Treaty also incorporated previous ECHR case-law into the ECJ’s body and established the ECJ’s jurisdiction on human rights within the EU.  Member States violating human rights in “serious and persistent” ways were subject to loss of Treaty privileges.

 

The EU and the Organization for Security and Co-operation in Europe (OSCE
)

The OSCE, originally established in 1975 as a forum for diplomatic consultation, has developed into a regional collective security instrument that ties respect for human rights, referred to as the "human dimension," closely to the maintenance of security.  There are 55 participating states in the OSCE, including all 15 Member States of the EU. The Charter of Paris for a New Europe, signed in November 1990, codified the guiding principles governing the "human dimension."  It was countersigned by the President of the European Commission and is the pedestal upon which the OSCE orients its activities. The principle lines of the charter are prevention, negotiation and monitoring of the implementation of undertakings subscribed to by its 55 members.  Since 1989, the European Community (and subsequently the EU) has been represented at OSCE meetings by a representative of the country holding the EU Council Presidency as well as a representative of the European Commission. The EU itself has played a significant role in the process of adaptation, which the OSCE embarked upon in response to the challenges of the post-Cold War period.  The EU Member States contribute some two thirds of the OSCE budget. Because of the significant role played by the EU in many OSCE countries, through its Agreements and assistance programs (some in conflict areas), the OSCE increasingly recognizes the "added value" which the EU can bring to sustaining political stability and democracy building in the OSCE region and the contribution to conflict prevention and conflict resolution.




Enlargement

            The EU has already experienced a series of successful enlargements.  After the six founding members, Belgium, France, Germany, Italy,  Luxembourg and the Netherlands, established the Union with the Treaty of Paris (1951),  the treaty establishing the European Coal and Steel Community (1951), and the Treaty of Rime establishing the European Economic Community (1957),  the EU has undergone four successive enlargements.  The first including Denmark, Ireland and the United Kingdom in 1973, the second adding Greece in 1981, the third adding  Portugal and Spain in 1986, and the fourth adding Austria, Finland, and Sweden in 1995.  However, the forthcoming eastward expansion is unique.  Such an expansion would increase the area of the EU by 34% and increase the population by 105 million, not to mention the extensive diversity of the states applying for membership. In all, enlargement will expand the bloc's population by about one-third, though its gross domestic product will rise by barely 5%.

Throughout the 1980s and 1990s, as EU Eastward expansion appeared more imminent, enlargement policy became another area in which human rights goals and ideals were documented.  Drawing from the ECJ/ECHR case-law and from commonalities in the Member States’ constitutions, the EU formulated requirements for admission to the Union.  As seen in the PHARE program, the Europe Agreements, and the acquis communitaire, human rights gained importance as a pre-accession requirement.  The 1993 Copenhagen Criteria, which outlined specific steps for admission:

(1)  be a stable democracy, respecting human rights, the rule of law, and the protection of

minorities;

(2)  have a functioning market economy;

(3)  adopt the common rules, standards and policies that make up the body of EU law.

 

By outlining human rights requirements for countries wanting to join the Union (in the first point), the EU (somewhat inadvertently) created human rights policies that previously had not been documented officially.  The EU assists these countries in taking on EU laws, and provides a range of financial assistance to improve their infrastructure and economy.

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Figure 1:  A map of the current members and the official applicant states.  Note that Turkey is not considered in the same group as the others because of a number of difficulties in the negotiations (many of these issues are related to human rights). 

news.bbc.co.uk/.../world/europe/ newsid_643000/643623.stm




Trade/Development Policy and International Institutions

Beginning in the mid-1970s, specific foreign trade agreements (e.g. Lomé Convention/Cotonou Agreement, Mediterranean agreements, etc.) mentioned human rights as conditions and requirements.  Delors’ European Social Charter in the late 1980s, though powerless in actuality, promoted certain workers’ rights and later influenced the Nice Charter.  In 1991, the European Council Declaration on Human Rights at Luxembourg committed the EU to respect human rights as fundamental to internal cooperation and external policies.  Later, in 1993, the TEU’s Common Foreign Security Policy (CFSP) required “respect for human rights and fundamental freedoms” and its Development Policy stated the importance of “respecting human rights and fundamental freedoms.”  The EU also proudly supported the agenda and program of activist organizations, institutions, and conferences such as the World Conference on Human Rights in Vienna in 1993 and the World Summit for Social Development in Copenhagen in 1995.

Since 1992, the EU has required a clause respecting human rights and democracy as “essential elements” in bilateral agreements.  The terminology of such human rights promotion can be traced to the UN Declaration on Human Rights in 1948.  It is important to emphasize that the EU’s current mechanism for promoting human rights in its over 120 agreements with non-EU countries concentrates on “promoting social development through incentives and capacity-building measures,” rather than on sanctions.  Because many non-member nations desire to establish bilateral trade agreements, the EU maintains a strong position for promoting human rights internationally. 

The Charter that resulted from the Nice Summit in 2000 was a long overdue codification and simplification of the many human rights steps that had been taken over the last fifty years.  Incorporating common institutional traditions from the Member States’ constitutions with the lengthy case-law of the EJC/ECHR and the declarations, ideals, and requirements of international institutes and EU trade/development/enlargement policies, the Nice Charter authors created a unique body of articles, specifically and explicitly guaranteeing human rights to the citizens of the European Union.

 

The Charter of Fundamental Rights of the European Union

The Preamble of the Charter helps to reveal the scope of the application of this document.  “This Charter reaffirms, with due regard for the powers and tasks of the Community and the Union and the principle of subsidiarity, the rights as they result, in particular, from the constitutional traditions and international obligations common to the Member States, the Treaty on European Union, the Community Treaties, the European Convention for the Protection of Human Rights and Fundamental Freedoms, the Social Charters adopted by the Community and by the Council of Europe and the case law of the Court of Justice of the European Communities and of the European Court of Human Rights.”

The Charter lays down specific procedures to be followed in drafting proposals. Any new law or instrument that has anything to do with fundamental rights must now include a formal statement confirming that: “This act respects the fundamental rights and observes the principles recognized in particular by the Charter of Fundamental Rights of the European Union.” If it relates to a specific Charter provision, the proposal may include a second sentence confirming that it respects the principle concerned, or making reference to the relevant Article.

The final version of the charter is divided into six chapters, each addressing a distinct genre of human rights.  The chapters are entitled: Dignity, Freedom, Equality, Solidarity, Citizen’s Rights and Justice, and together they outline fifty separate articles.  A case study tracing the application of a specific article of the Charter facilitates a better understanding of the many manifestations of the EU human rights policy in general.  The analysis will focus on Article 23, which addresses the issue of equality between men and women. 




Article 23


 

The first portion of the article is based on previous articles from the EC Treaty, the European Social Charter, the Community Charter on the Rights of Workers, and Council Directive 76/207/EEC.[1]  The second section of the article is a reworking of an article of the EC Treaty.[2]

 

Application of the Charter (Article 23)


Internal Applications:  ECJ and French National Law


            Once Community laws are established, national governments are required to adjust their laws accordingly.  However, in certain situations, the application of Community law is not entirely clear. In such cases, national courts can request a preliminary ruling from the ECJ to receive “authoritative guidance” in making a decision.

            With respect to gender equality, we refer to a case that concerned the implementation of equal treatment for men and women in the matter of social security.  The case involved a French schoolteacher, Henri Mouflin, who had applied to claim his pension rights so he could take care of his wife, who was sick with an incurable illness.  The application was initially approved, but then later Henri was removed from the pension list when the Minister of Education informed him that the policy was reserved exclusively for female civil servants.  Mr. Mouflin appealed the order, and the French national court turned to the ECJ for a preliminary ruling.  The ECJ ruled that the French policy violated Community law on gender equality.  French precedents were adjusted and Mr. Mouflin was awarded his pension.

 

Trade and Development Applications:  EU trade with the Middle East

When a non-EU nation with a record of human rights violations begins negotiations for a bilateral trade agreement, the EU makes use of NGO’s and other international organizations such as the UN to understand the status of human rights policy within the non-member country.  Based on the information, the Commission publishes a report on the improvements required of the nation.  These requirements can be met either before the agreement is made or by a deadline after the trade agreement.  The Commission then continually monitors the status of the nation.  Based on these reports, the EU uses both aid for development and trade agreements to promote human rights.

EU development programs are centralized within the European Initiative for Democracy and Human Rights (EIDHR). Since 1994, the EIDHR has had access to a budget of around 1 billion euros per year for actions in the field of development. Generally positive, these measures bring an added or additional value to certain Community programs and to the CFSP. The EIDHR invests almost 30% of their annual budget towards development in the Middle East.  In order to guarantee a long-term approach to enhance its impact, the development of EIDHR strategies must take account of four priorities. They are identified in terms of themes or issues to be tackled in the medium or long term.
 

            EU trade relations with the Middle East are conducted with both regional and bilateral agreements.  The major bilateral agreement pertinent to several countries in the Middle East is the Euro-Mediterranean Partnership.  After 20 years of increasingly intensive bilateral trade and development cooperation between the European Union, the 15 Member States and its 12 Mediterranean Partners, the Conference of EU and Mediterranean Foreign Ministers in Barcelona (27-28 November 1995) marked the start into a new "partnership" phase of the relationship including bilateral and multilateral or regional cooperation (hence called Barcelona Process or, in general, Euro-Mediterranean Partnership).  The 12 Mediterranean Partners, situated in the Southern and Eastern Mediterranean are Morocco, Algeria, Tunisia, Egypt, Israel, Jordan, the Palestinian Authority, Lebanon, Syria, Turkey, Cyprus and Malta; Libya currently has observer status at certain meetings.

The Barcelona Declaration adopted at the Barcelona Conference expresses the 27 partners’ intention to:
·        Create an area of shared prosperity through the progressive establishment of a free-trade area between the EU and its Partners and among the Mediterranean Partners themselves, accompanied by substantial EU financial support for economic transition in the Partners and for the social and economic consequences of this reform process (economic and financial partnership), and
The first point aims at improving the living and working conditions and at increasing employment opportunities in particular with regards to women. This cooperation will essentially concentrate on the most disadvantaged regions and areas whose population has been displaced. It will be achieved through different types of supporting schemes in order to improve living conditions, development of employment and production sectors, and support for training. 

For Middle Eastern countries with unique circumstances, the EU generally uses bilateral trade agreements to develop human rights policy.  The EU’s recent interactions with Iran provide a clear example of the importance of human rights—and more specifically Article 23—in external affairs.  In 1998, the Council asked the Commission to establish contacts within Iran to explore the possibility of cooperation between the two parties.  At that time, there were no contractual agreements between the states, but the newly elected Iranian President had identified the establishment of such agreements as an important policy objective.  After reviewing the situation, the Commission released a communiqué in February of 2001 that outlined the “challenges to cooperation” that needed to be remedied before the EU would enter into a trade agreement with Iran.  One of the first challenges identified was a human rights concern, specifically the position of women in society.  In an effort to address and discuss their complaints, the Commission recommended more contact between the two parties through dialogues and working groups.

 

Enlargement Applications: Turkey’s Application to the EU

Between the realm of internal and external relations, the EU’s special situation with applicant countries (through enlargement negotiations) necessitates implementation of EU human rights policy that is decidedly unique.  Turkey provides a noteworthy example of the development of human rights policy, especially gender equality issues.  The most important event in EU-Turkey relations was the Helsinki European Council’s recognition of Turkey as a candidate state for accession to the EU in December 1999.  The Council’s conclusions state that Turkey is a candidate state destined to join the Union on the basis of the same criteria as other candidate States.  In response, the Turkish government created the National Program for the Adoption of the Acquis’ (NPAA), to begin the process of integrating EU law.  Among the 90 new laws and 89 amendments to existing legislation contained in the NPAA, many deal with gender equality issues.

In the short term the Turkish Government intends to:
In the medium term the Turkish Government intends to:
These initiatives represent extremely significant improvements in gender equality for a country that has not had a strong record regarding these issues.  In response to Turkey’s new legislation, the Commission recently identified Turkey as one of the 29 countries upon which to focus a limited number of thematic priorities, including support for human rights education and gender equality.  This positive incentive approach of investment in response to efforts to promote human rights is representative of the EU strategy on human rights in the realm of enlargement.

In the past few days, issues surrounding the accession of Turkey have been prevalent.  The leader of Turkey’s ruling party, Recep Tayyip Erdogan, said negotiations for accession should begin next year and not in July 2005 as France and German propose. The main strategic reason for this assertiveness is that if negotiations stall, Turkey would need to convince 25 members including a hostile Cyprus instead of the current 15. The newly elected government recently submitted a second package of reforms designed to prevent torture and to expand freedoms, and hopes to rush them through parliament before the EU summit meeting.  This forceful strategy has also led to backlash from several key EU leaders.  Former French President and current President of the European Convention Valery Giscard recently said that “Turkey’s entry into the EU would be the end of Europe.”  Such conflict means that Turkey’s human rights status will come under even more scrutiny in the coming months. 

 

Policy Limitations

Issues in the Balkans

The greatest challenge to EU human rights policy came from the Balkan area throughout the 1990s.  Initially, the Yugoslav army fought an unsuccessful war against Slovenia.  Later that summer, Serbia launched a war of territorial expansion in neighboring Croatia, which also had seceded from the Yugoslav federation.  The fighting in Croatia promoted the EU to convene a peace conference in The Hauge, which moved to Geneva after several failures.  In Geneva, an EU-UN peace plan for Bosnia was produced. 

Despite the peace protocol, on April 6, 1992, the Bosnian Serbs launched a campaign of aggression against Bosnia with the siege of Sarajevo and the ethnic cleansing of the Drina River valley and the Bosnian Krajina (north and northwest parts of the country). The Bosnian government, headed by Alija Izetbegovic, was ill prepared to defend the country with no army and only a poorly equipped territorial defense force.  During the next three and a half years, Bosnian Serb forces, with the support of Milosevic in Belgrade, laid waste to large parts of Bosnia, killing more than 200,000 civilians and forcing half the population, two million people, to flee their homes. Tens of thousands of women were systematically raped. Concentration camps were set up in Prijedor, Omarska, Trnopolje, and other areas. Civilians were shot by snipers on a daily basis in Sarajevo, a city left without heat, electricity, or water.  The devastating atrocities finally led to the establishment of the Contact Group consisting of Britain, France, Germany, Russia, and the United States, and heavy NATO bombardment of Serbian positions in August, 1995. 

            The continuing issues in the Balkans show some of the shortcomings of the EU’s human rights policy.  In 1991 the then President of the European Community, Jacque Delors, stated in reference to the conflict in the Balkans, “we do not interfere in American affairs; we trust America will not interfere in European affairs.”  When the conflict escalated, to the embarrassment of the European Commission, United States involvement became necessary.  The inability to pose as a significant military threat is only a shortcoming in the most extreme cases.  However, it is often those extreme cases that the greatest human rights atrocities occur. 

 

Future Developments in EU Human Rights Policy

Common Security and Defense Policy

The Common Foreign Security Policy (CFSP) was established as the second pillar of the European Union in the 1993 Treaty on European Union signed at Maastricht. A number of important changes were introduced in the Amsterdam Treaty, which came into force in 1999, and since then there have been numerous developments in CFSP. In response to the events in the Balkans, the EU has agreed to embark on a Common European Security and Defense Policy (CESDP) within the overall framework of the CFSP. The European Council at Laeken of 14-15 December 2001 adopted a declaration on the operational capability of the Common Defense, officially recognizing that the Union is now capable of conducting some crisis management operations. Interim structures established after the Amsterdam treaty have become permanent. With the Nice Treaty, certain amendments to the CFSP provisions of the treaty were agreed.

The Helsinki European Council called on the Commission in December 1999 to set up a Rapid Reaction Facility as part of its decisions on the creation of a European Security and Defense Policy and remains the current manifestation of the Common Security and Defense Policy.  This mechanism is designed to enhance the EU's civilian capacity to intervene fast and effectively in crisis situations in third countries. It will provide the flexibility to mobilize Community instruments to be deployed quickly, whenever necessary.  Commissioner for External Relations Chris Patten said:

"Conflict prevention and crisis management are at the heart of the EU's Foreign and Security Policy agenda. The new Rapid Reaction Mechanism will act as a catalyzer, allowing us to mobilize resources within hours or days rather than weeks or months. We will now be in a better position to organize and support the mobilization of Member States civilian experts (in areas such as mine clearance, customs, mediation, training of police or judges) in crisis situations. In times of urgent needs we cannot anymore afford the luxury to be bogged down by bureaucratic constraints and deliver Community instruments with unnecessary delays."

 

The main purpose of the Rapid Reaction Mechanism (RRM) is to deliver these and other instruments as rapid stabilizers and as precursors for eventual longer-term assistance. In the Balkans, the Commission continues to deliver in the area of conflict prevention and resolution. In the Presevo region of the Republic of Serbia, it fully and speedily delivered on the promised assistance to the municipalities ranging from renovation of schools in time for the new year, to repair to water and sanitation system, and even the delivery of brand new garbage trucks and equipment. The Commission is presently implementing a second phase of actions with high impact and high visibility local employment schemes. These actions are complemented by the EC overall assistance to Serbia, EC humanitarian assistance, the CFSP related monitoring and confidence-building role of the other international actors such as the Organization for Security and Cooperation. This partnership is a good example of the integrated approach to conflict prevention and human rights protection the EU wishes to advance. In the former Yugoslav Republic of Macedonia, the Commission is also playing an important role in the support of the peace agreement. Confidence building measures have been deployed through the Rapid Reaction Mechanism immediately after the signing of the peace agreement.  

The success of the Rapid Reaction Mechanism has increased interest in the promotion of EU common defense, though the issue of Common Defense remains one of the most contentious issues in the EU.  The pooling of military resources within member states was one of the first initiatives in the EU in 1950, when the European Defense Community was formed.  However, this pillar has experienced the least development compared to economic and political union.  Much of the current debate in the European Council, Parliament, and Commission regards the direction the Common Defense will take in the EU, and such path will have a large impact on the future of the EU.

 

Conclusions

An analysis of the aforementioned cases illuminates the strengths and weaknesses of the human rights policy in the EU.  Internally, the strength of federalism with respect to the court ensures relatively effective development in human rights policy within the EU.  Additionally, the incentive of union-membership provides the EU with leverage to enact slow but substantial human rights improvements in non-member countries.  However, the EU’s economic “carrot” offered by trade and investment without the “stick” to enforce policies militarily, and the EU’s aversion to punitive sanctions renders human rights development outside Europe less effective.  The events in the Balkans show the potential weakness of an institution like the EU in times of escalated conflict.  As EU leaders debate the utility of Common Defense and accession of Turkey, the future of the EU is in flux, a future that remains hinged on issues surrounding human rights.  
Bibliography

 

-         UN Declaration of Human Rights

-         ECHR: Historical background, organization, and procedure (http://www.echr.coe.int/Eng/Edocs/Historical%20Background.htm)

-         Treaty of Amsterdam

-         Treaty establishing the European Economic Community

-         Treaty on European Union

-         EU Turkey Enlargement Status

(http://europa.eu.int/scadplus/leg/en/lvb/e40111k.htm)

-         EU: Human Rights: Thematic Issues

(http://ue.eu.int/pesc/human_rights/en/99/main5.htm)

-         EU Turkey Communication Platform

(http://www.euturkey.org/)

-         Dinan, Desmond. Ever Closer Union.

-         Wallace, Helen and William Wallace, Policy-Making in the European Union.

-         EU Enlargement:  Second Wave -  news.bbc.co.uk/.../world/europe/ newsid_643000/643623.stm

-         Pre-accession assistance for Turkey http://europa.eu.int/eurlex/pri/en/oj/dat/2001/l_342/l_34220011227en00010005.pd

-         Alston, Phillip.  “The EU and Human Rights” European University Institute, Florence.

The

 


[1] More specifically: Articles 2, 3(2), and 141(3) of the EC Treaty; Article 20 of the revised European Social Charter of May 3, 1996; and Article 2(4) of the Council Directive

[2] Article 141(4) EC